David Craig Brown - 01 Aug 2022 Form 4 Insider Report for Victory Capital Holdings, Inc. (VCTR)

Role
Chairman and CEO
Signature
/s/ Nina Gupta, attorney-in-fact for Mr. Brown
Issuer symbol
VCTR
Transactions as of
01 Aug 2022
Net transactions value
-$7,811,712
Form type
4
Filing time
03 Aug 2022, 20:53:15 UTC
Previous filing
04 Apr 2022
Next filing
19 Dec 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction VCTR Common Stock Options Exercise $943,524 +385,112 +22% $2.45* 2,123,552 01 Aug 2022 Direct
transaction VCTR Common Stock Options Exercise $214,613 +87,597 +4.1% $2.45* 2,211,149 01 Aug 2022 Direct
transaction VCTR Common Stock Options Exercise $192,369 +40,670 +1.8% $4.73* 2,251,819 01 Aug 2022 Direct
transaction VCTR Common Stock Options Exercise $464,984 +61,833 +2.7% $7.52* 2,313,652 01 Aug 2022 Direct
transaction VCTR Common Stock Options Exercise $1,937,438 +257,638 +11% $7.52* 2,571,290 01 Aug 2022 Direct
transaction VCTR Common Stock Options Exercise $250,161 +18,503 +0.72% $13.52 2,589,793 01 Aug 2022 Direct
transaction VCTR Common Stock Tax liability $11,814,801 -421,656 -16% $28.02 2,168,137 01 Aug 2022 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction VCTR Stock Option (right to buy) Options Exercise $0 -385,112 -100% $0.000000* 0 01 Aug 2022 Common Stock 385,112 $2.45 Direct F2
transaction VCTR Stock Option (right to buy) Options Exercise $0 -87,597 -100% $0.000000* 0 01 Aug 2022 Common Stock 87,597 $2.45 Direct F3
transaction VCTR Stock Option (right to buy) Options Exercise $0 -40,670 -100% $0.000000* 0 01 Aug 2022 Common Stock 40,670 $4.73 Direct F4
transaction VCTR Stock Option (right to buy) Options Exercise $0 -61,833 -100% $0.000000* 0 01 Aug 2022 Common Stock 61,833 $7.52 Direct F5
transaction VCTR Stock Option (right to buy) Options Exercise $0 -257,638 -100% $0.000000* 0 01 Aug 2022 Common Stock 257,638 $7.52 Direct F6
transaction VCTR Stock Option (right to buy) Options Exercise $0 -18,503 -100% $0.000000* 0 01 Aug 2022 Common Stock 18,503 $13.52 Direct F7
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares withheld by VCTR to satisfy withholding taxes and option exercise price due in connection with the exercise of options on August 1, 2022. The net settlement price was the closing stock price on August 1, 2022.
F2 As reported on the reporting person's Form 4 filed with the Securities and Exchange Commission (the "SEC") on May 2, 2018, 17,330 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the reporting person's Form 3 filed with the SEC on February 7, 2018, (the "Form 3"), 367,782 of the shares were fully vested.
F3 As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 3,942 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 83,655 of the shares were fully vested.
F4 As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 1,830 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 38,840 of the shares have vested or will vest based on the passage of time.
F5 As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 2,782 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 59,051 of the shares have vested or will vest based on the passage of time.
F6 As reported on the reporting person's Form 4 filed with the SEC on May 2, 2018, 11,593 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018. As reported on the Form 3, 246,045 of the shares have vested or will vest based on the passage of time.
F7 As reported on the reporting person's Form 4s filed with the SEC on May 2, 2018 and January 13, 2020, 832, 832 and 647 of the shares vest based on the satisfaction of certain performance criteria, which were met on April 30, 2018, August 31, 2019 and September 22, 2019, respectively. As reported on the Form 3, 16,192 of the shares have vested or will vest based on the passage of time.